Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
1. Which of the
fol- lowing A. Reducing the organization's legal exposure
BEST de-
scribes the pur-
pose of training
based upon
risk assessment
find- ings?
A.)Reducing
the
organization's le-
gal exposure
B.) Educating
em- ployees on
laws and
regulations
C.)Educating
the board on
the compliance
pro- gram
D.)Reducing
the
organization's in-
surance premi-
ums
2. A compliance
and ethics
pro- fessional
inves- tigates
a re- port of C.) Provide education and training on the policy
sexu-
al harassment.
The incident
does not
constitute
1/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
sexual harass-
ment, but re-
veals the
employ- ee's
misunder-
standings of the
harassment
poli- cy. Which
of the following
should be the
FIRST step in a
corrective ac-
tion plan?
A.)Consult out-
side counsel
B.) Disclose
the incident
to the EEOC
C.)Provide edu-
cation and
train- ing on
the policy
D.)Survey
em- ployees'
under- B.) Federal Sentencing Guidelines
standing of
the policy
3. Which of the
fol- lowing
provides
guidance for
the
development of
a compliance
pro- gram?
2/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
A.)Sarbanes-Ox-
ley Act
B.) Federal
Sen- tencing
Guide- lines
C.)Security
and Exchange
Com- mission
D.)Office for
Civil Rights
4. Which of the
fol- lowing is A.) Mitigating risk
the BEST
outcome of a
compliance and
ethics program?
A.)Mitigatin
g risk
B.)Identifyin
g risk
C.)Prioritizing
risk
D.)Documentin
g risk
5. Training on
price-fixing is
MOST
important for
which of the B.) Sales
following staff?
3/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
A.)Management
B.)Sales
C.)Marketing
D.)Accounting
6. A compliance and D.) 2, 3, and 4 only
ethics program
should include:
1. An employ-
ee benefits
hand- book
2. Document
re- tention
guide- lines
3. Policies
regard- ing
confidentiali- ty
4. A statement
about the
organi- zation's
culture
A.)1,2, and 3
only
B.)1, 2, and 4
only
C.)1, 3, and 4
only
D.) 2, 3, and 4 only
7. A.) Conduct a compliance and ethics risk assessment
4/
54
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
1. Which of the
fol- lowing A. Reducing the organization's legal exposure
BEST de-
scribes the pur-
pose of training
based upon
risk assessment
find- ings?
A.)Reducing
the
organization's le-
gal exposure
B.) Educating
em- ployees on
laws and
regulations
C.)Educating
the board on
the compliance
pro- gram
D.)Reducing
the
organization's in-
surance premi-
ums
2. A compliance
and ethics
pro- fessional
inves- tigates
a re- port of C.) Provide education and training on the policy
sexu-
al harassment.
The incident
does not
constitute
1/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
sexual harass-
ment, but re-
veals the
employ- ee's
misunder-
standings of the
harassment
poli- cy. Which
of the following
should be the
FIRST step in a
corrective ac-
tion plan?
A.)Consult out-
side counsel
B.) Disclose
the incident
to the EEOC
C.)Provide edu-
cation and
train- ing on
the policy
D.)Survey
em- ployees'
under- B.) Federal Sentencing Guidelines
standing of
the policy
3. Which of the
fol- lowing
provides
guidance for
the
development of
a compliance
pro- gram?
2/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
A.)Sarbanes-Ox-
ley Act
B.) Federal
Sen- tencing
Guide- lines
C.)Security
and Exchange
Com- mission
D.)Office for
Civil Rights
4. Which of the
fol- lowing is A.) Mitigating risk
the BEST
outcome of a
compliance and
ethics program?
A.)Mitigatin
g risk
B.)Identifyin
g risk
C.)Prioritizing
risk
D.)Documentin
g risk
5. Training on
price-fixing is
MOST
important for
which of the B.) Sales
following staff?
3/
54
, Certified Compliance and Ethics Professional (CCEP) Certification
sources
Study Re
Study online at
https://quizlet.com/_85ytl5
A.)Management
B.)Sales
C.)Marketing
D.)Accounting
6. A compliance and D.) 2, 3, and 4 only
ethics program
should include:
1. An employ-
ee benefits
hand- book
2. Document
re- tention
guide- lines
3. Policies
regard- ing
confidentiali- ty
4. A statement
about the
organi- zation's
culture
A.)1,2, and 3
only
B.)1, 2, and 4
only
C.)1, 3, and 4
only
D.) 2, 3, and 4 only
7. A.) Conduct a compliance and ethics risk assessment
4/
54
